Index

A

Abuse-of-discretion standard, 14, 16, 17, 18, 19, 21, 25, 35-36, 100 n.279, 101 n.282, 104 n.303, 112 n.353, 226 n.36, 308 n.18, 563-564 n.44, 565 n.48, 693, 827 n.73, 846 n.179, 874 n.343, 947 n.83

Academy of Toxicological Sciences (ATS), 677

Accreditation

engineering education, 931

laboratories, 28, 62 n.30, 66, 68-69, 70 n.83, 98, 154, 156, 171 n.98, 538

medical education, 695, 696, 697, 700, 701, 822, 823 n.49, 824, 873

Accreditation Board for Engineering and Technology (ABET), 931

Accreditation Council for Continuing Medical Education (ACCME), 700

Accreditation Council for Graduate Medical Education (ACGME), 696, 697

Acute myelogenous leukemia, 20 n.51, 26, 505, 655, 656 n.65, 663 n.81, 668-669, 670 n.97

Additive effects, 615 n.200, 673, 680

Admissibility of expert testimony, generally (see also individual disciplines)

applying Daubert, 22-26, 63 n.39

class certification proceedings, 30-32, 307 n.7, 365, 463, 489

credibility issues, 21-22, 36, 99, 318 n.41, 376 n.75, 741, 781-782, 789-790 n.24, 794, 806, 807, 875 n.347, 879

Daubert hearings, 6, 14, 23 n.61, 31, 35-36, 74 n.105, 76-77, 122

discovery, 32-35

Frye test, 12, 53, 60, 63, 82, 102 n.291, 103 n.300, 110 n.343, 133 n.7, 166, 173 n.102, 186, 189, 195 n.183, 197, 367, 368, 806-807, 866, 867, 949

interpreting Daubert, 19-22

procedural issues, 30-36

qualifications of expert witness, 22-23

relevancy standard, 13

reliability standard, 13

scientific foundation of studies, 23-25

standard of review, 14, 16, 17, 18, 19, 21, 25, 100 n.279, 101 n.282, 104 n.303, 112 n.353, 226 n.36, 563-564 n.44, 565 n.48, 693, 827 n.73, 846 n.179, 874 n.343, 947 n.83

sufficiency conflated with, 20-21

Supreme Court cases, 12-19 (see also Daubert; General Electric; Kumho; Weisgram)

synthesizing multiple studies vs.

piecemeal examination, 19-20, 21, 23-24

technical and other specialized knowledge, 16-18

Advertising

costs, 321 n.48, 322, 326

deceptive, 224, 231-233, 363 n.10, 366, 398-399, 400, 403-404, 410, 441

Advisory Committee on Civil Rules, 33

Agency for Healthcare Research and Quality, 701, 723, 728 n.174

Agent Orange litigation, 507 n.8, 520 n.38, 565 n.48, 583 n.100, 592 n.130, 609 n.179

Ake v. Oklahoma, 29 n.85, 127

Alcohol, blood levels, 228, 373 n.64, 791, 913

Alleles

binning, 200

defined, 139, 199



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Index A Frye test, 12, 53, 60, 63, 82, 102 n.291, 103 n.300, 110 n.343, 133 n.7, 166, 173 n.102, 186, 189, 195 Abuse-of-discretion standard, 14, 16, 17, n.183, 197, 367, 368, 806-807, 18, 19, 21, 25, 35-36, 100 n.279, 866, 867, 949 101 n.282, 104 n.303, 112 n.353, interpreting Daubert, 19-22 226 n.36, 308 n.18, 563-564 n.44, procedural issues, 30-36 565 n.48, 693, 827 n.73, 846 qualifications of expert witness, 22-23 n.179, 874 n.343, 947 n.83 relevancy standard, 13 Academy of Toxicological Sciences reliability standard, 13 (ATS), 677 scientific foundation of studies, 23-25 Accreditation standard of review, 14, 16, 17, 18, 19, engineering education, 931 21, 25, 100 n.279, 101 n.282, 104 laboratories, 28, 62 n.30, 66, 68-69, n.303, 112 n.353, 226 n.36, 563- 70 n.83, 98, 154, 156, 171 n.98, 564 n.44, 565 n.48, 693, 827 n.73, 538 846 n.179, 874 n.343, 947 n.83 medical education, 695, 696, 697, sufficiency conflated with, 20-21 700, 701, 822, 823 n.49, 824, 873 Supreme Court cases, 12-19 (see also Accreditation Board for Engineering and Daubert; General Electric; Kumho; Technology (ABET), 931 Weisgram) Accreditation Council for Continuing synthesizing multiple studies vs. Medical Education (ACCME), 700 piecemeal examination, 19-20, 21, Accreditation Council for Graduate 23-24 Medical Education (ACGME), technical and other specialized 696, 697 knowledge, 16-18 Acute myelogenous leukemia, 20 n.51, Advertising 26, 505, 655, 656 n.65, 663 n.81, costs, 321 n.48, 322, 326 668-669, 670 n.97 deceptive, 224, 231-233, 363 n.10, Additive effects, 615 n.200, 673, 680 366, 398-399, 400, 403-404, 410, Admissibility of expert testimony, 441 generally (see also individual Advisory Committee on Civil Rules, 33 disciplines) Agency for Healthcare Research and applying Daubert, 22-26, 63 n.39 Quality, 701, 723, 728 n.174 class certification proceedings, 30-32, Agent Orange litigation, 507 n.8, 520 307 n.7, 365, 463, 489 n.38, 565 n.48, 583 n.100, 592 credibility issues, 21-22, 36, 99, 318 n.130, 609 n.179 n.41, 376 n.75, 741, 781-782, Ake v. Oklahoma, 29 n.85, 127 789-790 n.24, 794, 806, 807, 875 Alcohol, blood levels, 228, 373 n.64, 791, n.347, 879 913 Daubert hearings, 6, 14, 23 n.61, 31, Alleles 35-36, 74 n.105, 76-77, 122 binning, 200 discovery, 32-35 defined, 139, 199 969

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Reference Manual on Scientific Evidence drop in, drop out, 151, 152, 153, 160 American Academy of Clinical electropherogram, 144, 145-146, Toxicologists, 678 182-183 American Academy of Environmental genetic typing, 139-140, 152, 159, Medicine, 677 n.115 182, 196 n.185 American Academy of Family Physicians, haplotype, 178, 181, 182, 204 735 Hardy-Weinberg equilibrium, 165, American Academy of Forensic Sciences, 166, 204, 207 125 heterozygosity, 139, 140, 147, 183 American Academy of Psychiatry and the n.139, 199, 204 Law, 823 n.52, 875 homozygosity, 139, 140, 183 n.139, American Association for Public Opinion 199, 204 Research, 417 kinship and, 163, 190 American Association for the ladders, 146, 147, 199 Advancement of Science, 8, 39 linkage equilibrium, 166, 205, 207 n.3, 46 location description, 200 American Association on Mental match, 205 Retardation, 371 mixtures of DNA, 182-183, 184-185 American Bar Association, 8, 869 multilocus genotype, 166, 204 American Board of Bariatric Medicine, nonhuman DNA, 195, 196, 197, 198 699 null, 144 American Board of Criminalistics, 156 population frequencies, 148, 155, n.52 163, 164-165, 166, 191, 195, 196 American Board of Emergency Medicine, n.185, 197, 200, 203, 204-205, 676-677 n.114 207 American Board of Forensic Odontology preferential amplification, 144 (ABFO), 107 probes, 140, 207, 209 American Board of Forensic Psychology, randomly mating population, 165, 825 n.65 198, 204, 208 American Board of Forensic Toxicology, sex-typing test, 146-147 69 n.78 single-locus genotype, 204 American Board of Medical Specialties size considerations, 153 (ABMS), 676, 677 n.114, 698, 699 at STR loci, 141-143, 144, 145-147, American Board of Medical Toxicology, 153, 159, 182-183 676 n.114 three-allele locus, 183 n.140 American Board of Pediatrics, 677 n.114, variation, 142-143 697 n.42 at VNTR loci, 142, 199, 200, 202 American Board of Preventive Medicine, Alternative hypotheses 677 n.114 beta error calculation in epidemiology, American Board of Professional 582 Psychology, 874 DNA profiling, 205 American Board of Psychiatry and hypothesis testing, 205, 254 n.106, Neurology, 697 n.42, 822, 823 255 n.110, 257, 276, 278, 283, n.52 297, 299, 300, 319-321, 353 American Board of Toxicology, 677, 678 multiple regression models, 319-321, American Cancer Association, 735 353 American Chemical Society, 46 970

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Index American College of Medical Toxicology, Antitrust litigation, 22, 31 n.90, 213, 226 678 n.36, 260, 305, 306, 307 n.7, 313, American College of Physicians, 735 320, 321 n.48, 326, 328, 348 n.90, American College of Radiology, 727 365, 366 n.25, 373, 429 n.1, 431, American Conference of Governmental 439, 475, 491 n.89, 498, 728 Industrial Hygienists, 529 n.65 Aplastic anemia, 561, 724, 731 American Honda Motor Co. v. Allen, 31 Appraisal approaches, 242-244, 248-249, American Industrial Hygiene Association, 278, 444, 445-446, 447, 501 539, 540 Asbestos, 248 n.93, 489, 519 n.36, 523, American Law Institute, 890 n.30 532 n.67, 551 n.3, 573 n.68, 585 American Lift Institute (ALI), 924 n.104, 587, 588 n.114, 606, 607 American Medical Association, 677 n.171, 609 n.178, 614, 615, 626, n.115, 735 627, 635, 640, 643-644 n.28, 652, American National Standards Institute 653, 669, 672, 676, 694, 724, 920 (ANSI), 906, 924 Association of American Medical American Osteopathic Association Colleges, 695, 696 n.34 (AOA), 697-698, 699, 700 Association of Firearm and Tool Mark American paddlefish, 194 Examiners (AFTE), 93, 94, 95, 97 American Petroleum Institute, 678 n.258, 100 n.273 American Physical Society, 46 Association of Social Work Boards, 826 American Psychiatric Association, 828, n.67 830, 831, 869, 879 n.358 Association of State and Provincial American Psychiatric Nurses Association, Psychology Boards, 873 826 n.69 Associations (see also Causation) American Psychological Association, 367, aggregation of data from multiple 824 nn.54, 57, & 59, 875 sources and, 235 American Society for Testing and biological plausibility, 20, 573, 600, Materials (ASTM), 906 604-605, 606, 620, 664-665 American Society of Crime Lab causation and, 20, 218, 221, 222, 262, Directors/Laboratory Accreditation 264, 552-553, 559, 562, 566, 567, Board (ASCLD/LAB), 68, 69 570, 571, 574, 577 n.81, 578 n.85, nn.76 & 78, 154 n.48, 156 n.52 584, 591, 592-593, 604-605, 610 American Society of Internal Medicine, n.184, 664-665 735 confounders, 262-264 American Urological Association, 727, correlation coefficients, 213, 227, 228, 735 260, 261-264, 265, 266, 286, 290, Americans with Disabilities Act, 816, 833 301, 333 n.105 defined, 552 n.7 Ames, Aldrich, 805 ecological correlations, 266, 267 Amicus curiae briefs, 5, 30, 371, 797-798 exposure–disease, 552-553, 554, 555- Anecdotal evidence, 59 n.17, 85, 217, 556, 557, 559, 561, 566, 567-568, 218, 220, 310, 677 n.115, 809 570, 572, 573, 574-575, 576, 577, Anthrax, 194, 713 578 n.85, 579, 580, 581, 582, 583, Antibodies, 199 584, 585, 586 nn.107 & 108, 588 Antigens, 199, 202, 203, 735 n.115, 589, 590, 591-593, 595, 597-606, 610 n.184, 611-612, 613, 622 971

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Reference Manual on Scientific Evidence income–education, 219, 260-262, lands and grooves, 91-92 264-266, 312 limits on testimony, 27 n.79, 101-102, linear, 261, 262, 264-268, 286, 321, 122, 123 n.440 348, 352 neutron activation analysis, 120 n.415, negative, 566 n.51 123 n.440, 126 statistical, between variables, 213, 217- pretrial discovery, 125-126 218, 219, 221-222, 230, 233-235, proficiency testing, 97-98 252 n.103, 253, 254, 260-263, 264, subclass charateristics, 93 265 n.129, 266, 285, 286, 291, techniques, 91-97, 120 295, 298, 312, 321, 352, 356 toolmarks, 72 n.93, 93 n.241, 96-97, true or real, 559, 568, 572, 574, 575, 98, 99, 103 n.300 581-582, 590, 591, 592 n.126, Bayes, Thomas, 241 n.84 625, 627, 629 Bayesian approach (Bayes’ theorem; Atkins v. Virginia, 369-371, 815 n.5, 833 subjectivist approach) n.105 to conditional probabilities of related Attributable risk, 566, 570-571, 612 events, 259 n.122, 274 n.191, 619 to decision theory, 242 n.84 Autoradiograph, 141 n.17, 199 defined, 200, 283, 742 to DNA matches, 173, 174, 188, 189, 190-191, 200, 209 to empirical distributions, 259 n.123 B in epidemiology, 611 n.188 to error rates, 259 n.122, 282 Bacon, Francis, 39-40, 42, 43, 45, 50 frequentists compared with, 273-275 Ballistics evidence inference writ large, 242 n.84 ammunition, 92, 93, 99, 120-121, limitations, 174 125-126 medical decisionmaking, 259 n.122, automated identification systems, 95-96 706 n.78, 707-714, 725, 742 cartridge identification, 27 n.79, 92, “objective,” 259 n.123 94-95, 98 to posterior probabilities, 241, 242, case law development, 58, 91, 258, 259 100-103 to prior probabilities, 259, 283 clarity of testimony, 120-121 to probative value, 259 n.122 class characteristics, 72 n.93, 92, 97, to statistical inference, 173, 174, 242 100-101 n.48, 273-275 computer imaging of bullets, 99 Bayh-Dole Act, 48 consecutive matching striae, 94 Bendectin litigation, 13-14, 562 n.38, Daubert and, 101 565 n.48, 578 n.85, 579 n.86, 604 empirical record, 61, 65, 97-100, 121 n.164, 638 error rates, 97, 98 Benzalkonium chloride, 507 n.8 firearms, 65, 72 n.93, 91-92 Benzene, 20 n.51, 26, 217 n.14, 505-506, individual characteristics, 72 n.93, 514, 526 n.27, 532, 539, 543, 587 93-94, 97, 99 n.112, 606 n.169, 617-618 n.214, inductively coupled plasma-atomic 646 nn.34 & 35, 649 n.44, 653, emission spectrometry, 120 n.415 655, 656 n.65, 657 n.67, 663-664 Integrated Ballistics Information nn.81 & 82, 668-669, 670 n.97 System (IBIS), 95 972

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Index technique, 71, 104-107 Bias (see also Confounding factors; uniqueness of dentition, 105-106 individual disciplines) Blood bank samples, 164 aggregation, 623 Blood evidence ascertainment, 187 ABO typing, 72, 132 n.3, 275 cognitive, 29, 79-80, 169 n.89, 706, alcohol levels, 228, 373 n.64, 791, 913 743 animal, 197 conceptual errors, 590 DNA analysis, 143, 151, 155, 156, contextual (expectation), 29, 67 n.63, 158, 160 n.60, 164, 169 n.89, 173 80 n.103, 182, 197 controlling for/minimizing, 68 n.70, exposure, 508, 509, 518-519, 535- 225, 246, 573-575 537, 544, 656, 657, 672 expectation, 411 preservative for, 202 information, 585-590, 624 serology analysis, 58, 62 n.32, 132 n.3 jury pool, 365, 403 spatter examinations, 71 n.88 misclassification, 588 n.115, 589-590, toxicology, 508, 509, 518-519, 535- 622, 624, 625 537, 544, 635, 636, 637 n.8, 653, nonresponse, 225, 226, 249, 290, 332, 656, 657, 662, 667, 672 362 n.8, 383-385, 407, 408, 416 Bootstrap simulation, 284, 469 observer effects, 67-68, 160 Brain (see also Neuroimaging; order effects, 395-396 Neuroscience evidence) publication, 590 brain stem, 755 recall, 249, 585, 586, 626 cellular structure, 750-754 selection, 98, 187, 224-225, 226 n.36, cerebellum, 755, 808 249, 290, 293, 296, 370, 386, 408, cerebrum, 755, 756, 757 512 n.22, 583-585, 591, 627 cortex, 756-758, 759-760, 808 systematic, 394, 572 n.67, 573 deep brain stimulation, 773, 775, 862 Biomarkers, 509, 536 n.76, 586 n.110 frontal lobe, 755, 756, 757, 759, 763, Bipolar disorder, 832, 833 n.105, 839, 771, 893 847, 853, 854 n.236, 855, 859, 881 functional aspects, 759-760 n.366 implanted microelectrode arrays, Birth defects, 13-14, 249, 552 n.4, 562, 775-776 563, 570 n.63, 578 n.85, 579 n.86, lesion studies, 774 585 n.106, 587 n.112, 590, 614, neurons, 750-754, 755, 757, 758-759, 618, 620, 638, 984 760, 768, 770, 772, 774, 775-776, Bite mark evidence 778, 808-809, 854 ABFO guidelines, 107, 123 neurotransmitters, 751, 752, 753, 755, case law development, 105, 110-112 763, 764, 833, 854 comparison methods, 106-107 occipital lobe, 756, 759, 760 computer-generated overlays, 106 parietal lobe, 755, 756, 771 n.317 structure, 754-759 crimes involving, 103-104 synapse, 750-751, 752, 763 Daubert and, 112 temporal lobe, 755-756, 774 DNA exonerations, 62 n.32, 109-110 transcranial magnetic stimulation, empirical record, 61, 65, 108-111 773-774 proficiency testing, 109 Breach of contract, 433, 434, 436, 437, specificity of expert’s opinion, 111, 461 n.54, 466 n.68, 797 123, 215 973

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Reference Manual on Scientific Evidence Breach-of-warranty action, 31 Daubert hearings, 6, 14, 23 n.61, 31, Breast cancer, 259 n.122, 562, 607 n.170, 35-36, 74 n.105, 76-77, 122 617 n.211, 704-705, 708, 710, in limine motions, 14, 22, 414 n.213 711-712, 719, 721, 727, 733-734, jury instructions, 29, 168 n.84, 170 736-737, 738-739 n.95, 383 n.104, 455, 943 Bundy, Ted, 112 pretrial conferences, 6, 488 Bureau of Economic Analysis, 484 pretrial Daubert hearings, 6, 18, 30, Bureau of Labor Statistics (BLS), 471, 484 311, 362 Burke v. Town of Walpole, 110, 123 pretrial lie detection, 807 protective orders, 487 special masters or expert assistants, 6, 7, 35, 135, 488, 489 C structuring expert testimony, 23-24 survey uses, 366-367 California Public Utilities Commission videotaped testimony, 7, 880-881 v. California Energy Resources Case reports, 23 n.59, 25 n.69, 108 Conservation & Development n.329, 217 n.14, 639, 714, 724 Commission, 947-948 Case-control studies, 556, 557, 558, 559- Canadian General Social Survey, 408 560, 568, 569, 583-584, 585-586, n.212 587 n.112, 588 n.115, 589-590, Cancer risk, 635, 638 n.12, 642-643, 591 n.122, 607, 620, 625 644-645, 649 n.46, 650, 653, 654, Cats, 196, 197 655, 656, 659, 660 n.74, 665, 668- Causation (see also specific disciplines) 669, 670, 683 abuse-of-discretion standard and, 24 Capital Asset Pricing Model (CAPM), alternative explanations, 552-553 n.7, 459, 469 570 n.63, 582, 595, 598, 600, 605, Capital punishment (see Death penalty) 672-673 Carbon monoxide, 513 n.27, 540 n.88, anecdotal evidence, 217, 218, 220 587 n.111, 635-636, 637 n.8, 651 association and, 20, 218, 221, 222, n.52, 652 n.56, 672, 681 262, 264, 552-553, 559, 562, 566, Carbon tetrachloride, 543, 544, 653, 662 567, 570, 571, 574, 577 n.81, 578 Carcinogens/carcinogenicity, 643 n.29, n.85, 584, 591, 592-593, 604-605, 644, 645, 647 nn.37 & 38, 649 610 n.184, 664-665 n.44, 650 n.49, 651, 655-656, 658 biodistribution of toxic agents, n.70, 659, 660 n.74, 670 n.97, 673 667-668 n.105, 680 biological plausibility of associations, Carcinogenicity bioassay, 644, 654-655, 20, 573, 600, 604-605, 606, 620, 680 664-665 Case management (see also Disclosures to but-for analysis and, 429, 431, 432, opposing parties; Discovery) 433, 436, 438-439, 440-443, 449- amicus curiae briefs, 5, 30, 371, 450, 455, 460, 461, 470, 471, 472, 797-798 473, 475, 476-477, 491, 492, 493- bifurcation, 476 494, 496-497, 498, 501, 597, 598 closing arguments, restriction on, 124 n.136 court-appointed experts, 6-8, 14, 35, cessation of exposure and, 605 311, 329, 489, 599 nn.141 & 143 conflicting research, 606, 674-675 cross-examination, 169 n.84 974

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Index confounding factors, 218, 220, 221, subsequent unexpected events and, 222, 591, 592-593, 598, 672-673 438, 480-481, 495, 500 consistency of trends, 606 synthesizing multiple studies, 19-20, correlation and, 309 21, 23-24, 217 n.14 Daubert trilogy and, 12 target organ specificity, 662-663 defined, 552 n.7 temporal relationship, 217 n.14, 323 differential diagnosis, 217 n.14, 512 n.52, 558, 560-561, 562-563, 587 n.21 n.111, 600-601, 606, 669 n.94, direction of, 322-323 714 n.100 dose–response relationship, 603 “weight-of-the-evidence” ecological studies, 561 n.34, 562 methodology, 565 n.48 epidemiological studies, 23, 217 n.14, Censuses, undercount litigation, 2-3, 218, 597-606 213, 223-224, 247 n.90, 268, 275 excretion routes for toxic agents and, n.149, 307, 308 668 Centers for Disease Control and exposure evidence, 25-26, 558, 587 Prevention (CDC), 418 n.246, n.111, 588, 597-606, 666-667 536-537, 561-562 n.36, 672 extrapolation issues, 23, 222, 223, Centers for Medicare & Medicaid 563-565, 661-662, 664 Services, 862 n.290 general, 24, 551 n.2, 552, 565 n.48, Central Intelligence Agency, 805 578 n.85, 597-606, 637 n.7, 638, Charter on Medical Professionalism, 703 657 n.87, 659, 660-665 Chloramphenicol, 724, 731 generalizability of studies, 222, 564, Chlordane, 543, 643 n.28 595 n.133, 623 Chromosomes (see also Genes) guidelines for assessing, 599-600 allele variations on, 142 latency period for disease and, anomalies, 183 n.140 668-669 autosomes, 200, 201, 204 level of exposure and, 669-670 cytogenetic analysis, 655 medical evidence, 217 n.14, 438, defined, 201 670-671 diploid number, 202, 204 metabolism of toxic agents and, 668 haploid number, 204 observational studies, 215-216, 218, homologous, 204 220-222 inheritance, 137-138, 142, 183 n.139 preponderance of the evidence loci used for profiling, 142-143, 144, standard, 565 n.48, 610 n.182 145-146, 147, 148, 151, 153, 155, proximate cause, 463, 464 159, 162, 163, 164, 165, 166, 175- randomized controlled experiments, 176, 182, 183, 188 n.157, 190, 218, 220, 221, 222 191, 192, 196, 197, 198, 199, 201, replication of results, 604 202, 204, 205, 206, 207, 209 specific, 24, 25-26, 551 n.2, 552, 608- monomorphic loci, 139 618, 637 n.7, 638, 645 n.31, 659 mutations, 206, 655, 683 n.72, 665-666, 669-670 n.95 recombination, 138 specificity of association, 605-606 reduction process, 137-138 statistical studies, 213, 216-223, 249, structure, 136-137, 142, 750 260-272, 288 X, 136, 137, 138, 147, 201 strength of association, 602 Y, 136, 137, 138, 147, 181-182, 184, structure–activity relationships, 663 201 975

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Reference Manual on Scientific Evidence Chronic Lyme disease (CLD), 728 Computer assisted tomography (CAT Chronic lymphocytic leukemia, 505 n.4 scan), 718 n.117, 719, 720, 762- Civil Rights Act, 228, 350 763, 837-838, 893 Class-action cases, 7, 238 n.72, 247 n.90, Confessions, coerced, 59 n.16 248 n.93, 429, 462, 463, 483, 486, Confidence intervals (see specific disciplines) 489-491, 649 n.47 Conflicts of interest, 8, 21-22, 48-49, Class certification proceedings, 30-32, 590, 728, 875 307 n.7, 365, 463, 489 Confounding factors (see also specific Classification of Violence Risk (COVR), disciplines) 848 controlling for, 596-597 Clean Air Act, 666 identifying, 595 Clinical studies, 510, 555, 556, 575, 590, lurking variables, 262-264 607, 621, 640, 648 n.42, 656 n.64, preventing or limiting, 595 658, 659, 661 Confrontation Clause, 26-27, 30, 789 Cocaine, 126, 536 n.76, 760, 789 “Consistent with” testimony, 70, 104 Cohort studies, 556, 557-559, 560, 567, n.302, 111, 113, 116, 120, 121, 568, 573, 583, 584, 585 n.104, 589, 160 n.60, 184, 604-605, 606, 927 590, 592, 593, 594, 607, 621, 624, Consumer Product Safety Commission 625, 626, 628, 657, 658-659, 716 (CPSC), 650, 909, 911, 920 Coker v. Georgia, 370 Convenience samples, 164, 224-225, 248, Collaborative Testing Services, Inc., 69 285, 287 n.82, 78, 85, 87, 88, 98 Costs of expert testimony, 19 Commission on Osteopathic College Council of American Survey Research Accreditation, 696 Organizations, 382 n.102, 416 Common-law fraud action, 31 n.240 Commonwealth v. Patterson, 81-82 Council on Continuing Medical Competency Education, 700 confinement based on, 852 Coupon settlements, 491 to consent to treatment and research, Credibility issues (see also Conflicts of 844, 845 interest) to enter into contracts or make wills, Daubert and, 21-22 816, 817, 820, 867 Crime Laboratory Proficiency Testing evaluations, 817-819, 820-821, 823, Program, 97 844 n.167, 872, 880, 884, 885, Criminal Justice Act of 1964, 127 889, 890 Cross-sectional studies, 319, 345, 352, to manage one’s affairs, 816, 844, 867 556, 560-561, 621-622, 716, to marry or to vote, 816 736-737 of medical patients, 735 Cruel and unusual punishment, 3, 369, neuroscience applications, 796, 799 815 n.5 parenting capacity, 820, 844, 867 Current Population Survey, 260 n.125, to represent oneself, 3, 799, 815, 818 266 restoration of, 852, 861, 863 Cyanide, 651-652 to stand trial, 3, 785, 799, 815, 818, 820, 821 n.37, 823, 844, 852, 861, 863, 867, 872, 885 n.377, 889 to waive rights, 815, 817, 844 976

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Index D DeLuca v. Merrell Dow Pharmaceuticals, Inc., 247 n.92, 551 n.2, 553, 567 n.55, 572 n.67, 575 nn.73 & 75, 577 Damages (see Economic damages) n.81, 578 n.85, 579-580 n.88, 582 Daubert v. Merrell Dow Pharmaceuticals (see n.91, 599 n.143, 609 n.178, 610 also individual disciplines) n.184 admissibilty conflated with sufficiency, Department of Commerce v. United States 20-21 House of Representatives, 2-3 application issues, 22-26 Department of Defense, 46 atomization, 19-20 Department of Energy, 46 characteristics of scientific knowledge, Department of Health and Human 49 n.16 (see also Reliability of Services, 46 scientific testimony) Department of Justice, 80, 117, 411, 491 and civil cases, 63 Department of Labor, 793 and class certification proceedings, Department of Veterans Affairs, 696 n.33, 30-32 892 credibility issues, 21-22 Diagnosis of mental disorders definition of science, 39 n.3 accuracy, 839-840 and empirical testing, 62-64 approaches, 834-839 evidentiary (Daubert) hearings on clinical examination, 834-835 admissibility, 6, 14, 18, 30, 31, functional impairment vs., 819-821 35-36, 74 n.105, 76-77, 122, 125- laboratory tests, 838-839, 883 126, 216, 362 major diagnostic categories, 831-834 exposure assessment, 22, 25-26 malingering detection, 840-841 and Fed. R. Evid. 702, 12 neuroimaging studies, 837-838 and forensic identification evidence, nomenclature and typology (DSM- 62-64, 101, 112 IV-TR and DSM-V), 828-831 and Frye test, 12 psychological and neuropsychological gatekeeping function of trial judges, tests, 836-837 6, 12-13, 16, 17, 102 n.291, 866 records of previous assessments, 839 n.309, 901, 933, 956 structured interviews, 835-836 and in limine motions, 14 Dioxins, 522, 536 n.76, 545, 643 n.28, interpretive issues, 19-22 652, 653, 667 n.92 overview and impact, 12-14 Disclosures to opposing parties (see also pretrial hearings, 6, 14, 23 n.61, 31, Discovery) 35-36, 74 n.105, 76-77, 122 analytical methods and nonsupporting qualifications of expert witness, 22-23 analyses, 216 and scientific foundation of studies, damages data, 486-488 23-25 data dictionaries, 487-488 scientist’s view of, 52-54 database information and analytical sufficiency conflated with admissibility, procedures, 331-332 20-21 dispute resolution, 488 Death penalty, 3, 27 n.78, 126, 216, 220, drafts and communications, 33 221, 223, 307, 308, 369 n.45, 370- format standardization, 487 371, 797, 800 n.51, 851, 877 unretained testifying experts, 32 n.96, Decision theory, 242 n.84 34 977

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Reference Manual on Scientific Evidence DNA databases and database searches Discovery (see also Disclosures to all-pairs matching, 191-192 opposing parties) Arizona offender database, 191-192 amended rules, 32-34 Australian offender database, 192 “assumptions” provision, 34 birthday problem, 192 n.170 DNA evidence, 125-126, 191 British National DNA Database, e-discovery, 34-35 144-145 improving the process, 330-331 CODIS (Combined DNA Index laboratory reports, 125 System), 61, 62 n.30, 145, 201 mass torts litigation, 366-367 comprehensive population-wide motions to compel, 34-35, 373 n.62 database, 163 n.73 opinion work product, 33, 374 disclosure of trawling to juries, 189- pretrial, 57, 125-126, 216, 310 n.24 190 n.164 procedural issues, 32-35, 125-126 judicial opinions on adjustment, 189 statistical evidence, 310 n.24, 330-331 laboratory quality assurance of summary of expert’s opinion, 125 requirements, 154 undue burden or cost, 33, 34 mitochondrial DNA, 178-180, 190 Discrimination (see Racial discrimination; near-miss (familial) searching, 189-191 Sex discrimination) New Zealand offender database, 191, DNA (deoxyribonucleic acid) (see also 192 Alleles; Chromosomes; Genes; population databases for validation of Genome) new loci, 148, 155, 163-164, 197- base pairs, 138, 139, 140, 141, 142, 198, 199 143, 146, 147, 149, 152, 153, 176, probative value of matches, 165 n.76, 177, 180, 200, 201, 202, 203, 204, 186-189, 190 206, 209 proficiency testing for participants, chemical structure, 131, 136-139, 202 69-70, 156 complementary sequences, 143, 150, representativeness of populations, 179 201, 204, 207, 208 sampling error, 178 damage from toxic chemicals, 645, selection effects, 187 654-655, 656, 663, 682 statistical analyses of adjustments, 165 defined, 202 n.76, 179, 186, 187-188 D-loop, 177, 201, 202 trawling, 174 n.109, 186-191 environmental insult, 153 n.44, verification of random-match 202-203 probabilities, 191-192 individual variation, 135-136, 137 DNA Identification Act of 1994, 61, 69, introns and exons, 138 n.16 70 n.83, 154 n.46, 156 mitochondrial, 143 n.23, 202, 206, DNA identification evidence 651 admissibility, 131, 132-133, 140, 166, polymorphisms, 139-143, 148, 177, 173 n.102, 181 n.134, 182, 186, 182, 197, 199, 207, 208, 209 189, 195 n.183, 197 pseudogenes, 138 n.16 Bayesian approach to matches, 173, repetitive sequences, 141, 142-143 (see 174, 188, 189, 190-191, 200, 209 also STR under DNA sequencing bite marks, 62 n.32, 109-110, 151 and testing) blood, 143, 151, 155, 156, 158, 160 DNA Advisory Board (DAB), 61-62, 154 n.60, 164, 169 n.89, 173 n.103, n.46, 187 182, 197 978

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Index case law development, 131, 132-133 NRC reports, 60-61, 125, 127, 133, ceiling principles, 167 n.80, 200, 134 n.12, 141 n.19, 143, 161, 162, 204-205 163 n.72, 164 n.75, 166-167, 168 chain of custody, 157, 162 n.84, 169 n.89, 170 n.95, 174 coincidence hypothesis, 161, 163-167, n.110, 175, 176 n.114, 185, 187- 172, 173 n.106 188, 192 n.170 contact, 151 objections to, 135 database matches, 165 n.76, 179, 186- population frequencies, 134 n.12, 148, 189, 190, 191-192 155, 163-165, 166, 178, 182, 191, Daubert and, 166, 167, 171 n.98, 173 195, 196 n.185, 197, 200, 203, n.102, 181, 186, 189, 194 n.176 204-205, 207 defendant’s fallacy, 168 n.89 population structure adjustments, 166- defense experts, 127, 162, 168 n.84 167, 179, 182, 192, 207 empirical testing, 60-62, 66, 148 posterior probabilities, 172, 173-174 error rates, 162, 170, 171 nn.96-98 prejudicial testimony, 167-170, 171 exclusions, 116, 133, 135, 144 n.25, n.97, 181 n.136, 185-186, 189, 156, 158 n.56, 159-160, 167-168, 190 n.164 169, 171, 173, 175 n.111, 177- pretrial discovery, 125-126 178, 179, 180, 181, 184, 185, 186, prior probabilities, 173, 174 188, 190 n.164, 196 n.185 probability sampling, 184 exonerations, 27, 62, 109-110, 116, product rule, 165-167, 198, 199, 204- 117, 119, 124, 125 n.450, 134, 157 205, 207 n.55 qualifications of experts, 134-135, 156 Frye (general acceptance) test, 133 n.7, n.52 166, 167, 173 n.102, 181, 186, random match probabilities, 60, 135, 189, 195 n.183, 197 155, 164, 165, 167-171, 172, 173, hair, 113, 116, 143, 149 n.133, 151, 175-176, 181 n.34, 182, 186, 187, 155, 170, 177, 178 n.123, 179, 188, 189, 190, 191-192, 196, 197, 180, 181 n.134 198 n.194, 205, 208, 251 n.99 history, 132-134 random sample/sampling, 164-165, hypotheses for matching profiles, 178 160-161 in randomly mating populations, 165- jury comprehension of, 167-171, 175 166, 179, 198, 204, 208 n.111, 189-190 n.164 “rarity” or “strength” testimony, 175 laboratory errors, 160-162 reappraisal of, 60-62 likelihood ratios, 169 n.89, 172-173, relatives as sources (kinship 174, 175, 177-178, 185-186, 205, hypothesis), 161, 162-163, 170, 206 172, 173 n.105, 174, 175-176, 184 matches/inclusions, 74 n.107, 159-160 n.143, 190, 192, 202 mishandling or mislabeling, 156-158, reliability, 60, 62 n.32, 73, 227 175 semen, 143, 151, 155, 159 n.58, 169 mitochondrial DNA, 113, 116 n.89 multilocus profile frequency, 164, 166, source attribution, 156-157, 161-162, 202, 204 175-176 979

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Reference Manual on Scientific Evidence alternative hypotheses, 205, 254 n.106, confounding variables, 219, 220, 221, 255 n.110, 257, 276, 278, 283, 222, 240, 257 n.115, 262-264, 297, 299, 300, 319-321, 353, 582 265, 266, 285, 286, 288, 289, anecdotal evidence, 217, 218, 220, 310 298-299 applied statistics, 214, 229, 328 convenience sample, 224-225, 248, appraisal approaches, 242-244, 248- 285, 287 249, 278 correlation coefficients, 213, 227, 228, artifacts from multiple testing, 256 260, 261-264, 265, 266, 286, 290, associations between variables, 213, 301, 333 217-218, 219, 221-222, 230, 233- Daubert and, 214, 217 n.14, 227 n.37 235, 252 n.103, 253, 254, 260- dependent variables (outcome variable, 263, 264, 265 n.129, 266, 285, response variable), 219, 264, 268, 286, 291, 295, 298, 312, 321, 352, 270, 274, 285, 286, 287, 288, 290, 356 294, 295 averages, 219, 226 n.35, 238 n.70, 241, design of research, 213, 214, 216-230, 242-243, 244-245, 246, 248 n.95, 231, 240, 243, 246, 279, 301, 308- 264, 265 n.129, 266, 269, 278-279, 309, 310, 311-317 284, 287, 289, 294, 298, 300 disclosure of methods and base of a percentage, 233 nonsupporting analyses, 216 Bayesian approach (subjectivist), 173, discovery process, 216, 217 n.14, 310 174, 242 n.48, 273-275 n.24, 330-332 benchmarks, 230-231 discrimination cases, 213, 228, 233- bias, 220, 224-225, 226, 227, 240, 234, 250, 253 n.105, 257 nn.115 & 241, 246, 249, 256, 266 n.130, 116, 260, 270-271, 272, 275, 276, 283, 285, 290, 293, 296, 312, 314, 279-282 315, 322 n.50, 325, 327, 352 distributions, 236-239, 248 n.95, 251, categories for comparison, 231-232 259 n.123, 275, 276, 278, 279, causality inferred from, 213, 216-223, 283-284, 286, 287, 288, 290-291, 249, 260-272, 288 292, 293, 294, 296, 297, 298, 300, census undercount litigation, 2-3, 301 213, 223-224, 247 n.90, 268, 275 DNA profiling, 74 n.105, 134 n.12 n.149, 307, 308 ecological regression, 266, 267 center-of-distribution measure, enhancing statistical testimony, 238-239 215-216 central limit theorem, 276, 278, 279, epidemiological study analysis, 284, 285 574-582 changes in data collection, 232 estimation/estimators, 213, 226 n.35, coding reliability, 227-228 228, 229, 230, 232 n.56, 241, collection of data, 216-230, 231 242-249, 252-253, 256-257, 258 comparisons, 233 n.117, 259 n.123, 260, 264, 265, conditional probability, 205, 209, 273- 267, 269-270, 271, 273 n.146, 274, 284, 710, 712, 742 278, 279, 280, 281-282, 283, 284, confidence intervals, 165 n.76, 213, 285, 287, 289, 292, 295, 296, 298, 230, 240 n.83, 241, 243-246, 299-300, 301 247, 248, 249, 252-253, 255, 259 expertise/experts, 214, 215-216, 222, n.121, 284-285, 289, 321, 332 248 nn.93 & 94, 251, 271, 272 n.69, 342-343, 352 external validity, 222, 301 1006

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Index false negatives, 115-116, 162, 232, 254 linear regression, 260 n.124, 264, 298, n.106, 259 n.122, 301, 577 n.81, 316, 317 n.36, 336-339, 347, 353, 581-582, 620, 708, 711, 724, 780, 354 782-783, 788 mean, 213, 230, 238, 239, 240, 247 false positives, 161-162, 170-171, 232, n.92, 269, 278, 279, 284, 286, 289, 251 n.100, 254 n.106, 575-581, 290, 291, 293, 296, 297, 298, 332, 589, 619, 627, 708, 710-711, 713, 341, 342, 343, 350, 351, 354, 356 714, 717-718, 720, 724, 725, 735, median, 213, 230, 238, 239, 240 n.82, 780-781, 782-783, 788 289, 292, 492 frequentist approach (objectivist), 187, misleading data, 220, 230, 231, 247 189, 190, 241-242, 247, 252, 254 n.92, 265, 349 n.106, 258, 259, 273, 275, 287, missing data, 223-224, 229, 332 611 n.188 mode, 238, 289 gender discrimination, 233, 234-235, models and model development, 241, 257 n.115, 270-271, 272, 279-282 253-257, 268-272, 279-281 generalization of results, 222-223, 301 multiple hypothesis tests, 256-257 graphs, 213, 230, 236-237, 240 n.82, Nixon papers valuation, 242-246, 247, 260-261, 272 n.144, 276, 294, 296 248-249, 278-279 histograms, 236-237, 276-279, 283, nonresponse bias, 225, 226, 249, 290, 284, 288 332 hypothesis (significance) tests, 40, 163, normal curve, 239 n.81, 244, 246, 213, 241, 249-253, 254, 255, 297, 255, 276, 277-278, 279, 284, 287, 319-320, 352, 353, 354, 356, 574- 298, 303, 342 582, 626, 724, 725 normal distribution, 239 n.81, 284, income–education association, 219, 290, 292, 294, 298, 343 n.82, 354 260-262, 264-266, 312 null hypothesis, 241, 249-251, 252, independence, 227, 228, 269, 275, 253-254, 257, 271 n.138, 275, 288, 325, 326, 353, 714 276, 278, 282, 283, 287, 288, 290, independent variables, 219, 221, 268, 291, 292, 296, 297, 299-301, 319- 285, 287, 288, 289, 290, 294, 295, 321, 342-343, 348, 353, 354, 356, 297, 305 n.2, 308, 353 574, 576, 577 nn.81 & 83, 579, individual measurements, 227-228 581-582, 619, 620, 625, 626, 628, inferences drawn from data, 213, 217, 629, 724, 725 220, 221, 222, 227, 240-259, 264, observational studies, 213, 217-218, 266, 270, 283 219, 220-222, 241, 248, 269, 285, integrity of data, 229 288, 290, 291, 312, 318, 332, 340, intercept, 265-266, 267, 269-270 342, 347 n.135, 280, 335, 338, 345, 347, odds ratio, 235, 289, 291, 566, 568- 348, 353, 354 569, 573, 584, 589, 625, 738 internal validity, 222, 228, 229, 288 one-tailed tests, 255-256, 291, 297, interquartile range, 239 321, 354, 577 n.83 least squares method, 269-270, 271, outliers, 238, 239 n.76, 240, 262, 263, 280, 289, 295 291, 327 n.58, 345, 346, 354, 355 linear associations, 261, 262, 264-268, 286, 321, 348, 352 linear combinations, 271 n.139, 280, 287, 289, 290, 298 1007

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Reference Manual on Scientific Evidence parameters, 241, 247, 248, 254 n.106, p-values, 213, 230, 240 n.83, 241, 255, 269-270, 271, 275, 280, 281- 249-256, 257, 258, 271 n.138, 282, 283, 284, 287, 291, 292, 293, 281, 287, 288, 289, 290, 291-292, 295, 298, 299, 300, 312, 314 n.32, 296-297, 299, 300, 320-321, 324 315, 316-317, 320, 324, 325, 326, n.54, 347, 350-351, 354, 356, 575 327, 332, 336, 337, 338, 340-341, n.74, 576, 577 n.81, 578-579, 626, 342, 343, 344, 347, 348 n.91, 352, 628, 724 353, 354, 355, 356 qualifications of statistical experts, percentages, 88-89, 213, 224 n.31, 215-216, 275 230-232, 233-234, 247, 248 n.93, quotas, 225, 361 n.4 249 n.96, 257, 267-268, 284, 293, random (sampling) error, 240, 241, 318 n.40, 320, 341, 345, 355, 381, 243, 244, 246, 248, 249 n.96, 252, 382-383, 499, 626, 781, 787 256, 257, 258, 269, 271, 280, 282, percentiles, 2, 239, 288, 289, 292, 287, 293, 295, 296, 314 n.30, 336, 293, 525 337, 339, 342 n.79, 355, 388, 556 population, 217, 221 n.23, 223-225, n.19, 572 n.67, 573, 574-582, 585 226-227, 241-250, 275-277, 278- n.106, 589, 612-613, 621, 623, 279, 292, 295, 296, 298, 299, 300, 624, 626, 627, 628 301 random sample/sampling, 164-165 posterior probabilities, 172, 173-174, nn.75 & 76, 178, 225-226 & 241-242, 258-259, 274, 275, 283, nn.32-35, 230, 241, 242, 247, 248, 710, 742 249, 250, 275, 276, 277, 278, 283, power of statistical tests, 174, 181 284, 288, 290, 296, 297, 299, 332, n.136, 253-254, 255, 276-277, 363 n.12, 380-382, 383, 385-386, 283, 292, 296, 579 n.88, 581-582, 412, 420, 421 607, 626, 644, 645, 724, 730, 805 random-start systematic sample, 299 n.65, 848 random variables, 288, 289, 293-294, practical significance of results, 252, 295, 355, 356 292, 318-321, 355 randomized controlled studies, 218, presentation and analysis of data, 220, 221, 222, 230, 241, 248, 285, 230-240 294, 301, 398, 555, 556, 580 n.89, prior probability, 173, 174, 241-242, 592, 607, 621, 648 n.42, 658, 716, 258, 259, 274, 275, 282, 283, 710, 718, 722-723, 724, 725, 729, 730- 711, 744 731, 732, 736 probability sampling, 184, 226, 230, randomness, generally, 222, 230, 240 238 n.71, 241, 246, 248, 283, 293, n.83, 285, 290, 555, 626 295, 299, 332, 355, 361, 362 n.8, ranges, 237, 239, 245, 247, 250, 253, 380, 381, 382, 385, 398 n.175, 276, 284, 288, 292, 293, 294, 298, 408, 416, 419, 420, 421 299, 300, 312 n.26, 333, 343, 345, probability theory, 173, 214, 258 (see 353 also Bayesian approach) rates, 218, 220, 221, 226, 230-233, product rule, 165-167, 198, 199, 204- 234, 235, 236, 243, 250, 253 205, 207, 273-274 n.105, 258 n.119, 259 n.122, 266, professional autonomy, 215-216 267, 268, 275, 279, 284, 288, 290, public school funding litigation, 2 291, 294, 298 recording data, 217, 229, 327, 330 1008

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Index redistricting litigation, 2, 267-268 standard deviation (SD), 126, 213, n.133, 307 n.9 230, 239, 240, 242, 243, 247 n.92, regression lines, 213, 260, 264-268, 248, 251-252 nn.101 & 103, 278, 294 179 n.153, 286, 293, 298, 301, regression models/analysis, 213, 221 341, 343 n.83, 344, 348, 354, 356 n.21, 248 n.94, 256, 257 n.115, standard error (SE), 213, 230, 240 260-272, 279-282, 284, 285, 286, n.83, 241, 243-246, 248, 249, 251, 288, 289, 293, 294-295, 298 (see 255, 258, 276, 278, 279, 281-282, also Multiple regression) 284-285, 289, 290, 293, 294, 298, relative risk (RR), 234 n.62, 247 n.91, 300, 316 n.35, 326, 340-344, 347, 295, 566-568, 569, 570 n.62, 572, 348, 349, 350, 354, 356 573, 574, 575-576, 577 n.82, 578 stratification, 221 n.23, 226, 288, 290, n.85, 579, 580, 581, 582, 591, 594, 299, 308 601, 611, 612, 614-615, 616, 619, subfields, 214 621, 627, 659, 737, 738, 851 n.214 surveys, 213, 214 nn.4 & 5, 223-227, reliability of measurements, 217, 223, 229 n.45, 257 n.115, 290, 307 n.8, 227-229, 247 n.91, 248 n.94, 269, 332 270, 291, 295, 301, 340, 341 technical difficulties, 247-249 rival hypotheses, 163, 174, 257 theoretical statistics, 214, 241-242, sample size, 243, 246-247, 252-253, 247, 250, 255-256, 258, 270, 273- 254-255, 318-319 275, 277-278, 279, 284, 290 (see scatter diagrams, 213, 240 n.82, 260- also Bayesian approach) 262, 263, 264, 265, 267, 296, 333, time-series analysis, 231, 317 n.37, 335, 337, 355 319, 323 n.52, 326, 345, 356 selection bias, 224-225, 226 n.36, 249, trademark infringement, 363 n.10, 290, 293, 296 366, 373, 376, 378, 379, 382 selection ratio, 234, 235, 275 n.101, 387, 396 n.165, 397-398, significance levels, 213, 230, 240 399-400, 401, 410, 413-414, 421 n.83, 241, 249-256, 257, 258, 271 transposition fallacy, 250-251 n.100, n.138, 281-282, 287, 288, 289, 258 n.119, 259 n.122 290, 291-292, 296-297, 299, 300, trends, 233, 236, 264-265, 345 320-321, 324 n.54, 347, 350-351, t-statistics, 281-282, 297, 299-300, 354, 356, 575 n.74, 576, 577 n.81, 320, 340-344, 347, 356 578-579, 626, 628, 724 two-expert cases, 215, 329 significance testing, 40, 163, 213, 220 two-tailed tests, 255-256, 297, 300, n.19, 241, 249-253, 254, 255-256, 321, 356, 577 n.83 291, 297, 300, 319-320, 321, 352, Type I (alpha) error, 251 n.100, 283 353, 354, 356, 574-582, 626, 724, Type II (beta) error, 254 n.106, 283, 725 301 slopes and intercepts, 265-266, 267, units measured, 226-227 269-270 n.135, 280, 335, 338, units of analysis, 217, 223-225, 345, 347, 348, 353, 354 266-268 Spock jury example, 249-250, 275-278 validity of measurement process, 222- 223, 228-229, 241, 288, 301 variability measures, 239-240 voting rights cases, 213, 266-268, 307 Statutes of limitations, 134 1009

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Reference Manual on Scientific Evidence Stearns, Richard, 6 confidence interval, 380, 381, 383, Structured instruments and tests 419 administration, 888 confìdentiality, 405, 417, 418 mental status assessment, 885-889 consumer impressions, 361, 366, 373, population appropriateness, 886-887 377 n.79, 378, 386-387, 393, 397, reliability and validity, 885-886 399-400, 410, 413 n.228 scoring, 888-889 consumer preferences, 231-232, 365, training considerations, 887-888 377, 382, 385-386, 396 n.166, Summary judgment, 3, 14, 16, 18, 24 416, 470 n.64, 309 n.20, 315 n.33, 384 control groups, 394, 397-401, 421 n.110, 547, 644 n.29, 669 n.95, control questions, 368, 369, 394, 401 673 n.105, 817 n.12 convenience sampling, 224-225, 285, Survey research 382, 383 n.104, 385, 398 n.175, acquiescence, 394, 400 419, 420 admissibility under Daubert, 214, 226 coverage or noncoverage error, 362 n.36, 361, 363-369, 410 n.8, 378, 407, 419, 420 Atkins v. Virginia, 369-371 on expert acceptance of, 63 n.39, attorney independence, 374 367-369 audio computer-assisted self- data entry, 229, 363, 405, 412-413 interviewing (ACASI), 402 Daubert and, 214 n.5 bias, 225, 226, 249, 290, 332, 362, design of survey, 362, 363, 367, 373- 364 n.16, 373, 374, 379, 381 n.96, 376, 381 n.97, 384, 386, 389, 394, 383-386, 394, 395 n.160, 396, 396, 399, 400 n.185, 406, 409, 414 407, 408, 410, 411-412, 416, 417 n.231, 415, 416, 420 causal inferences, 398 disclosure of methodology and results, causal propositions, 392, 397-401, 421 362, 373 n.62, 389 n.132, 405, census undercounts, 307 n.8 410, 413-415, 416-417 change of venue, 365, 376-377 n.76, “don’t know” or “no opinion” 388, 403, 413 n.228 options, 362 n.7, 389-391, 421 children and other special populations, economic damages determinations, 377 389, 431, 469-470, 482, 483, 484, clarity of questions, 362, 387-388, 486 389, 402-403, 406, 410 error and bias minimization, 362 n.7, closed-ended questions, 392-394, 395, 382, 406-407, 411-412 399, 419 ethical obligations of survey research cluster sampling, 380, 419 organization, 417 community standards assessment, 224, expertise in design, conduct, and 369-371 analysis, 364 n.16, 372, 375, 385- computer-assisted interview (CAI), 386, 398, 399, 409 402, 412, 419 expertise in testimony, 362 n.8, 367, computer-assisted personal 372, 375-376, 381 n.96, 382, 383, interviewing (CAPI), 403, 405, 385, 408, 414, 416 410, 419 extrapolation of data from, 226 computer-assisted telephone filters to prevent guessing by interviewing (CATl), 402, 405, respondents, 389-391, 420, 421 410, 419 on general acceptance of scientific expertise, 365, 367-369 1010

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Index identifying the appropriate population, probes to clarify ambiguous responses, 367, 376-377, 379, 383-384 389, 394-395, 402-403, 406, 410, individual testimony compared to, 372 421 in-person (face-to-face) interviews, professional standards for survey 363, 382, 383 n.106, 385 n.112, researchers, 371, 389 n.131, 417 392, 396, 401, 402-403, 404, 405, public opinion, 369, 370-371, 403 419 n.195 instrument design and structure, purpose of survey, 373 387-409 qualifications of experts, 375-376, 381 internet surveys, 382 n.102, 401, 403, n.96 405, 406-408 questions, 368, 369, 373, 391-394, interviewer errors and bias, 402, 406- 395, 397-401, 419, 421 407, 411 random assignment, 398 n.175 interviewer training and qualifications, random error, 314 n.30, 336, 337, 376, 386, 388 n.129, 389, 394, 339, 342 n.79, 355, 388 395, 402-403, 409-410, 411 random sample/sampling, 332, 363 mall intercept surveys, 386, 398 n.175 n.12, 380-382, 383, 385-386, 412, mail surveys, 383 n.106, 384, 396, 420, 421 401, 402 n.193, 403, 405-406 random selection, 398 n.175, 408 marketing, 364 n.13, 373 n.63, 382 random-digit dialing, 404, 408 measurement error, 362 n.8, 401, 420, randomized controlled studies, 398 422 recency effect, 396, 420, 421 missing data, 229, 376, 385 relevance of survey, 362, 363, 367, mixed-mode design, 409 368, 370, 373, 374, 375, 376, 377- monitoring administration, 411-412 378, 379, 380-383, 386, 407, 413 nonprobability sampling, 361, 382, report content, 362, 364 n.13, 371, 383 n.104, 420 372, 373, 376 n.75, 377, 386, 401 nonresponse bias, 225, 226, 249, 290, n.186, 405, 413 n.228, 415-417 332, 362 n.8, 383-385, 407, 408, representativeness of respondents, 226, 416 362, 367, 370, 379, 380-383, 384, objectivity in administration, 410-411 405, 406, 407, 409, 417 objectivity of, 362, 374, 387, 393 response grouping, 413, 416 open-ended questions, 391-394, 406, response rates, 226, 362, 367-368, 413, 420 383, 384-385, 390, 405-406, 407, order of questions, 395-396, 402, 403, 408, 409, 416 406-407, 408-409 n.217, 411, 420 sample surveys, 223, 361-363, 365 pilot tests, 388, 389, 416-417 n.18, 381, 382 population definition and sampling, sampling error, 362 n.8, 380-381, 382, 223-225, 361, 362 n.8, 380, 381, 398, 416, 419, 421 382, 383 n.104, 385, 398 n.175, sampling frame (or universe), 224, 408, 416, 419, 420, 421 225, 226, 267, 283, 292, 293, 296, pretests, 388-389, 414 n.231, 430 297, 377-379, 404 n.198, 406, primacy effect, 396, 420 415, 419, 420, 421 probability sampling, 226, 361, 362 screening respondents, 386-387, 401 n.8, 380, 381, 382, 385, 398 n.175, n.188, 404, 415, 420, 421 408, 416, 419, 420, 421 selection bias, 226 n.36, 385-386, 408 self-selected pseudosurveys, 407-408 1011

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Reference Manual on Scientific Evidence skip pattern, 402, 403, 406, 410, 421 Toxic Substances Control Act (TSCA), sponsorship disclosure, 372, 374, 648 nn.41 & 42, 663, 666 410-411 Toxic tort cases, 19, 21, 25-26, 31 n.91, stratified sampling, 225, 299, 380, 213, 223, 238, 505, 512, 551 n.2, 381-382, 421 635, 636, 637, 638, 639, 645, 649, surveyor-respondent privilege, 417 663, 665, 667 n.91, 669 systematic sampling, 380 n.93 Toxicology target population, 362, 367, 371, 376, absorption, 636, 640, 646-647, 661, 377-378, 379, 382, 383, 384, 385, 662-663, 666-667, 680, 682 386, 406, 407, 409, 415, 419, 420, acute toxicity, 641, 668, 671, 680 421 acute toxicity testing, 641 telephone surveys, 363, 371, 384, 396, additive effects, 673, 680 401, 402, 403-405, 407, 408, 410, agents of concern, 652, 653-654 411, 412, 419 animal research, 510, 563-565, 603 validation of interviews, 412 n.160, 625, 636, 637, 639, 640- weight, evidentiary, 362-363, 368, 647, 648, 654, 655, 656, 658, 659, 377-378, 379 n.89, 396 n.166, 660, 661-662, 663, 664, 669-670, 399, 408, 413-414, 415 673, 674, 675 n.111, 677, 680, 682 weights/weighting, statistical, 382, antagonism, 673, 680 384, 408, 416 benchmark dose, 642, 670 n.96, 680 bioassay, 644, 648, 664 n.83, 680 bioavailability of compounds, 545, 667 biodistribution of toxic agents, 636, T 640, 646-647, 661, 662, 667-668, 681 Tarrance Group, 371 biological monitoring, 639, 649 n.47, Technical Working Group on 657, 667, 680 DNA Identification Methods biological plausiblility of associations, (TWGDAM), 61-62 n.29, 154 644 n.29, 661, 664-665, 680 n.46 blood analysis, 508, 509, 518-519, Thalidomide, 562-563, 653 535-537, 544, 635, 636, 637 n.8, Thematic Apperception Test, 886 653, 656, 657, 662, 667, 672 Theory, law vs. science, 51 cancer risk, 635, 638 n.12, 642-643, Threshold Limit Values (TLVs), 529 644-645, 649 n.46, 650, 653, 654, Tissue plasminogen accelerator, 732-733 655, 656, 659, 660 n.74, 665, 668- Toolmark evidence 669, 670, 683 ballistics, 72 n.93, 93 n.241, 96-97, carcinogenicity bioassay, 644, 654- 98, 99, 103 n.300 655, 680 case law development, 102-103 carcinogens/carcinogenicity, 643 n.29, class characteristics, 96 644, 645, 647 nn.37 & 38, 649 empirical testing, 61, 65 n.44, 650 n.49, 651, 655-656, 658 error rates, 98 n.70, 659, 660 n.74, 670 n.97, 673 exclusion, 27 n.79 n.105, 680 identification testimony, 96-97 chemical toxicology, 635, 636, 637- individual characteristics, 96 638, 639-640, 644, 645, 646, 647, proficiency testing, 98 649, 654, 663, 673, 677, 681 random markings, 94, 99 1012

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Index chronic toxicity, 644, 652, 653, 672, exposure evidence, 636, 637-638, 680 640, 641-642 n.26, 643 n.28, 644 chronic toxicity tests, 644-645 n.28, 645 n.31, 647 n.37, 658, clinical ecologists, 677 n.115, 680-681 659, 660-670 clinical studies, 510, 640, 648 n.42, and exposure science, 505, 506, 508, 656 n.64, 658, 659, 661 509, 518, 519, 533, 535, 537, 538, compounds, 640, 644, 648 n.42, 661- 540, 547 664, 667-669, 672, 674, 681 extrapolation from animals and cell confounding factors, 657 n.67, 665, research to humans, 636, 641, 645, 672-673, 681 646-647, 648, 651, 652, 658, 661- contact, 534 662, 664, 669-670 Daubert and, 638 n.9, 643 n.28, 664 extrapolation from short exposures to n.84, 669 n.94 multiyear estimates, 648 dermatotoxicology, 640, 641 n.24, general causation, 637 n.7, 638, 657 650 n.48, 653 n.87, 659, 660-665 design of studies, 639-646 good laboratory practice (GLP), 647- differential diagnosis, 512 n.21, 672, 648, 682 676 n.113, 681 hazard identification, 637 n.7, 649, direct-acting toxic agents, 636 n.2, 650 n.47, 651, 656 n.64, 682 668, 681 hydrogeologists, hydrologists, 682 DNA damage, 645, 654-655, 656, immunotoxicology, 640, 653, 677 663, 682 n.115, 678 n.116, 680-681, 682 dose, dosage, 525, 636-637, 638, 641, in vitro research, 639, 640, 645-646, 642, 644-645, 646, 647, 648, 651, 647, 648 n.42, 654, 658, 659, 664, 657 n.67, 658-659, 660, 661, 664, 674, 682, 683 665, 667 n.91, 668, 670 n.96, 673 in vivo research, 639, 640-645, 646, n.107, 674, 677 n.115, 680, 681, 647, 654, 664, 682, 683 682, 684 indirect-acting chemicals, 668, 682 dose-response curve, 646, 651, 673 inhalation toxicology, 640, 650 n.48, n.107, 681 651, 656 n.65, 657 n.66, 662, 667, dose-response relationships, 635, 639, 668, 670 n.97, 674, 678 n.116, 641, 642-643, 646, 649, 651, 658, 680, 682 663 n.82, 669, 670, 676, 680, 681 Joiner and, 638 n.9, 661 n.77 end points, 641, 642, 652, 653-654, laboratory tests, 671 n.102, 672 666 latency period for disease, 512, 660 epidemiology and, 563-565, 603 n.74, 668-669 n.160, 628, 636, 639, 644 n.29, legal contexts for, 635, 637-638 645-646 n.33, 647, 650-651, 655, lethal dose 50 (LD50), 641, 682 656, 657-660, 664-665, 674, 681 level of exposure and, 638 n.12, 641- epigenetics, 643 n.28, 681 642, 658 n.70, 660 n.74, 665, 667 etiology, 670-671, 676 n.113, 682 n.91, 669-670, 673 n.107, 682, excretion of toxicants, 636, 640, 646, 683 647, 661, 662, 668, 682 lifetime bioassay, 648, 680 exposure assessment, 510, 533-534, maximum contaminant level (MCL), 543-544, 637, 638 n.13, 642, 649, 670 n.97 650, 651, 656-657, 658, 665, 671, maximum tolerated dose (MTD), 644- 672, 674 645, 682 1013

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Reference Manual on Scientific Evidence medical history and, 645 n.31, 670- susceptibility/sensitivity differences, 675, 676 n.113 527 n.61, 636, 641 n.25, 646 n.35, metabolism, 535-536, 668, 674 650 n.48, 661 n.77, 662-663, 666, molecular toxicology, 640, 645, 654- 674 655, 656, 663, 678 n.116, 682 symptoms of exposure, 637 n.5, 641- multiple chemical hypersensitivity, 677 642 n.26, 657 n.66, 662, 667 n.91, n.115, 680-682 669 n.94, 671-672 mutagens and mutagenesis, 642, 643 synergistic effect, 673, 683 n.28, 645, 654-655, 670, 683 systemic, 534-535 neurotoxicology, 640, 647 n.38, 663- target organ dose, 636, 646 664 n.82, 670 n.95, 678 n.116, target organ specificity, 651-656, 683 662-663 no observable effect level (NOEL), temporal relationships, 636, 641 n.26, 641-642, 669-670 664, 665, 668-669 no threshold model, 642-643, teratogen and teratogenicity, 645 n.33, 669-670 684 one-hit theory, 642, 643, 651, 683 threshold, 641-642, 643, 647 n.37, pharmacokinetics, 646, 648, 674, 675, 650 n.49, 651, 657 n.66, 669-670, 683 683, 684 potentiation, 673, 683 tort litigation, 635, 636-637, 638, 639, premarket testing of drugs, 648 645, 649, 663, 665, 667 n.91, 669 qualifications of experts, 646 n.33, toxic agent defined, 684 660-661, 675-679 Trademark infringement, 224, 308 n.12, randomized controlled studies, 648 363 n.10, 366, 373, 376, 378, 379, n.42, 658 382 n.101, 387, 396 n.165, 397- regulatory context, 635, 636, 637, 398, 399-400, 401, 410, 413-414, 638 nn.10 & 12, 639, 640, 642, 421 644-645, 646, 647, 648 n.40, 649, Transposition fallacy, 168, 169 n.91, 170 650-651, 654, 656 n.54, 657 n.67, n.92, 173, 209, 250-251 n.100, 660, 665-666, 669 n.95, 670 n.96, 258 n.119, 259 n.122 678 Treatment of mental disorders (see also reproductive toxicology, 640, 653, Medications for mental disorders) 662, 666 cognitive behavioral and related risk assessment, 637, 642-643, 648- therapies, 859-860 651, 657 n.67, 661-662, 663, 673 electroconvulsive and other brain n.108, 678 n.116, 679, 683 stimulation therapies, 861-862 risk characterization, 637, 638 n.12, family and couples therapies, 860 645 n.31, 659, 683 functional impairments, 860-861 safety assessment, 640, 647-649, 683 group therapies, 860 scientific foundation of studies, 23 prediction of response to, 863-864 specific causation, 23, 637 n.7, 638, psychoanalysis, 858-859 645 n.31, 659 n.72, 665-666, 669- psychodynamic psychotherapy, 859, 670 n.95 860, 865-866 statistical evaluation, 640, 642, 644, psychosurgery, 863 645, 658-659, 670 n.96, 676 supportive therapy, 860 structure–activity relationships (SAR), talking therapies, 860 647 n.37, 648 n.42, 663, 683 Trigon Ins. Co. v. United States, 33 1014

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Index Validity/validation Troedel v. Wainwright, 126 comparative measurements, 228 Trop v. Dulles, 369 correlation coefficients, 228 Tsar Nicholas family identification, 152, criteria for determining, 484 177 damages data, 483-485 developmental, 155 DNA methods and procedures, 133, U 134, 148, 150, 153, 154, 155, 185, 193, 195 Uniform Commercial Code, 466 external, 222, 301 United States v. Cordoba, 368 forensic evidence, 27-28 United States v. Cyphers, 123 internal, 155-156, 228-229 United States v. Diaz, 101 quantitative methods, 485 United States v. Glynn, 27 n.79, 101-102, reliability distinguished from, 71-72 124 n.444 test-retest correlations, 228-229 United States v. Green, 27 n.79, 101, 122 Vanasen v. Tradewinds, 922 n.427 Victor Shirley, Inc. v. Creative Pipe, Inc., 35 United States v. Llera Plaza, 28, 73, 74, 79, Videotaped testimony, 7, 880-881 82 n.169 Vinyl chloride (monochloroethylene), United States v. Mitchell, 74 n.105, 76-77, 522, 605-606 n.169, 653, 672 82 n.170, 122 Violence Risk Assessment Guide United States v. Monteiro, 98 n.265, 101, (VRAG), 848 122 n.434 Voice stress analyzer, 792 United States v. Nacchio, 35 Voiceprint evidence, 3, 62 n.32, 71 n.88, United States v. Orians, 368 73, 579 n.85 United States v. Scheffer, 365 n.22, 368 Volatile chemicals, 514, 520, 521, 531, n.35, 794, 795-796 650 n.48, 657 n.66, 668 United States v. Semrau, 803, 805-806 Voting Rights Act, 266-267 nn.131 & United States v. Starzecpyzel, 63 n.42, 84 133, 307 n.9 n.183, 86 n.190, 89, 122 n.435 Voting rights cases, 213, 266-268, 307 United States v. Williams, 63 n.42, 102 United States v. Yazback, 193-194 U.S. Census Bureau, 260, 365 n.18, 383, W 484 U.S. Forest Service, Forest Products Walker v. Soo Line Railroad Co., 947 Laboratory, 58 n.10 Warning issues, 233, 941-942 U.S. Geological Survey, 951, 958 Wechsler Adult Intelligence Scale (WAIS- U.S. Preventive Services Task Force, III), 836 726-727, 735, 738, 739 Weight-of-the-evidence approach, 15, 16, 20 Weisgram v. Marley, 18-19, 22, 63 V Wilhoite v. Olin Corp., 366-367, 392 n.144 Vaginal Wilson v. Corestaff Services, L.P., 803, adenocarcinoma, 560, 609 n.178 806-807 DNA swabs, 147, 151, 158, 182, 183 1015

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Reference Manual on Scientific Evidence Z Women’s Health Initiative (WHI), 716-717 World Health Organization (WHO), 655, Zuni Public Schools District No. 89 v. 678 Department of Education, 2 World Trade Organization, 650 Zyprexa litigation, 24 Wrongful death, 238 n.71, 470, 471, 473-474, 475 n.77 Wrongful termination, 470, 471, 475, 491 1016